FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
|||||||||||||||
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
|
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. |
1. Name and Address of Reporting Person*
(Street)
|
2. Issuer Name and Ticker or Trading Symbol
Moderna, Inc. [ MRNA ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
||||||||||||||||||||||||
3. Date of Earliest Transaction
(Month/Day/Year) 05/29/2024 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
---|---|---|---|---|---|---|---|---|---|---|
1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 05/29/2024 | S(1) | 1,000 | D | $141.01(2) | 1,980,931 | D | |||
Common Stock | 05/29/2024 | S(1) | 3,013 | D | $141.725(3) | 1,977,918 | D | |||
Common Stock | 05/29/2024 | S(1) | 1,100 | D | $142.82(4) | 1,976,818 | D | |||
Common Stock | 05/29/2024 | S(1) | 1,500 | D | $143.942(5) | 1,975,318 | D | |||
Common Stock | 05/29/2024 | S(1) | 2,400 | D | $144.9858(6) | 1,972,918 | D | |||
Common Stock | 05/29/2024 | S(1) | 5,581 | D | $146.0198(7) | 1,967,337 | D | |||
Common Stock | 05/29/2024 | S(1) | 2,229 | D | $146.8197(8) | 1,965,108 | D | |||
Common Stock | 05/29/2024 | S(1) | 3,177 | D | $148.0575(9) | 1,961,931 | D | |||
Common Stock | 9,662,114(10) | I | By Flagship Ventures Fund IV, L.P. and Flagship Ventures Fund IV-Rx, L.P.(10) | |||||||
Common Stock | 3,924(11) | I | By Flagship Pioneering, Inc.(11) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. These sales were effected by the reporting person pursuant to a Rule 10b5-1 trading plan adopted on February 27, 2023, as amended on November 7, 2023. |
2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $140.34 to $141.32, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. |
3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $141.37 to $142.35, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. |
4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $142.39 to $143.10, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. |
5. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $143.43 to $144.41, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. |
6. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $144.48 to $145.45, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. |
7. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $145.50 to $146.45, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. |
8. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $146.51 to $147.49, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. |
9. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $147.51 to $148.50, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. |
10. 8,100,794 shares are held directly by Flagship Ventures Fund IV, L.P. ("Flagship Fund IV") and 1,561,320 shares are held directly by Flagship Ventures Fund IV-Rx, L.P. ("Flagship Fund IV-Rx"). Flagship Ventures Fund IV General Partner LLC ("Flagship Fund IV GP") is the general partner of each of Flagship Fund IV and Flagship Fund IV-Rx. The reporting person is the sole manager of Flagship Fund IV GP and disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
11. 3,924 shares are held directly by Flagship Pioneering, Inc. ("Flagship Pioneering"). The reporting person is the CEO and sole stockholder of Flagship Pioneering and disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
Noubar B. Afeyan, Ph.D. By: /s/ Noubar B. Afeyan, Ph.D. | 05/31/2024 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |